SR
Susan E. Rohe
STRATEGIC ADVISERS LLC
AUSTIN, TX
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CRD#: 4398022
SR
Professional summary
Susan Elizabeth Rohe, who also goes by Susan E Rohe, Susan Elizabeth Rohe, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Austin, Texas and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Susan has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan E Rohe | Susan Elizabeth Rohe
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Elizabeth Rohe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
AUSTIN, TX
Current
February 4, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
April 2, 2020 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
TAMPA, FL
Past
May 15, 2008 - April 7, 2017
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PRINCETON, NJ
Past
May 14, 2008 - April 7, 2017
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
October 27, 2005 - February 28, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CENTENNIAL, CO
Past
October 18, 2005 - February 28, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CENTENNIAL, CO
Past
April 22, 2005 - July 8, 2005
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
ISLIP, NY
Past
April 22, 2005 - July 8, 2005
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
October 20, 2004 - March 22, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
GARDEN CITY, NY
Past
October 20, 2004 - March 22, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
March 30, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
GARDEN CITY, NY
Past
March 30, 2004 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
April 9, 2002 - March 18, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/31/2021)
RR
Alaska(3/31/2021)
RR
Arizona(3/31/2021)
RR
Arkansas(3/31/2021)
RR
California(11/11/2020)
RR
Colorado(3/31/2021)
RR
Connecticut(3/31/2021)
RR
Delaware(3/31/2021)
RR
District of Columbia(3/31/2021)
RR
Florida(2/4/2020)
RR
Georgia(1/12/2021)
RR
Hawaii(3/31/2021)
RR
Idaho(3/31/2021)
RR
Illinois(3/31/2021)
RR
Indiana(3/31/2021)
RR
Iowa(3/31/2021)
RR
Kansas(3/31/2021)
RR
Kentucky(3/31/2021)
RR
Louisiana(3/31/2021)
RR
Maine(3/31/2021)
RR
Maryland(3/31/2021)
RR
Massachusetts(3/31/2021)
RR
Michigan(3/31/2021)
RR
Minnesota(3/31/2021)
RR
Mississippi(3/31/2021)
RR
Missouri(3/31/2021)
RR
Montana(3/31/2021)
RR
Nebraska(3/31/2021)
RR
Nevada(3/31/2021)
RR
New Hampshire(3/4/2021)
RR
New Jersey(2/11/2021)
RR
New Mexico(3/31/2021)
RR
New York(1/6/2021)
RR
North Carolina(3/4/2021)
RR
North Dakota(3/31/2021)
RR
Ohio(4/1/2021)
RR
Oklahoma(3/31/2021)
RR
Oregon(3/31/2021)
RR
Pennsylvania(3/31/2021)
RR
Rhode Island(3/31/2021)
RR
South Carolina(3/31/2021)
RR
South Dakota(3/31/2021)
RR
Tennessee(3/31/2021)
RR
Texas(3/10/2021)
IAR
Texas(3/31/2025)
RR
Utah(3/31/2021)
RR
Vermont(3/31/2021)
RR
Virginia(1/6/2021)
RR
Washington(3/31/2021)
RR
West Virginia(3/31/2021)
RR
Wisconsin(3/31/2021)
RR
Wyoming(3/31/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
